Registry Notification Types

1-Personnel Recruitment Notification

Capital market institutions and publicly held corporations recruiting and employing persons subject to license are under obligation to report the same to our Corporation within 10 business days following the date of recruitment thereof.
 

2-Personnel Resignation Notification

Also in the case of resignation of persons subject to license, the relevant capital market institutions and publicly held corporations employing them are obligated to report the same to our Corporation again within 10 business days following the date of resignation thereof.
 

3-Personnel Job Duty/Place of Duty/Job Position Change Notification

In the case of a change in such job-related information as job duty, place of duty and job position of employees subject to license, the relevant capital market institutions and publicly held corporations are obligated to report the same to our Corporation within 10 business days following the date of such change.
 

4-Investment Firms Decentralized Organization Unit Opening Notification

If and when investment firms open a new decentralized organization unit, the relevant institution is under obligation to provide our Corporation with the required information about such decentralized organization unit, so as to ensure that its personnel subject to license may be employed in such unit and may be followed up through the system.
 

5-Notification on Permanent or Temporary Suspension of Decentralized Organization Activities of Investment Firms

If and when investment firms open a new decentralized organization unit, the relevant institution is under obligation to provide our Corporation with the required information about such decentralized organization unit, so as to ensure that its personnel subject to license may be employed in such unit and may be followed up through the system. Also in the case of permanent or temporary suspension of decentralized organization units included in LSTS, the required transactions should be effected through LSTS, and the relevant institutions are required to send a notification to our Corporation within 10 business days.
 

6-Notification on Change of Address, Telephone Number and Other Communication Data of Capital Market Institutions

A type of notification sent to our Corporation in the case of change of communication data of centralized and decentralized organization units of capital market institutions included in LSTS.